We are a boutique financial planning firm, supporting more than 200 families in navigating life’s challenges around topics like getting ready for retirement, the early retirement years, taxes, business ownership matters, estate questions, and more. We have a passion for integration, simplifying the conversation for clients, and always doing what is right for them. No matter the phase of life; we are here to be our clients’ advocate and guide. We are a close team and support each other to achieve this mission!

We’re excited to be growing our team and are looking to welcome a new Client Service Associate. We are seeking someone who has a heart for service and can connect easily with others. If you're newer to the wealth management industry, the role may start with a focus on operations and building your knowledge. For those with more experience and industry licensing, the position can quickly grow into becoming the primary contract for a subset of our clients. The responsibilities are diverse and will include client-specific, account-specific, and general business functions, such as facilitating and maintaining ongoing client support, answering general inquiries, supporting our advisory team, researching, and resolving client service issues, and preparing required documents. In addition to having working knowledge of industry software, systems, and processes, you are exceptionally organized, have amazing attention to detail, and are committed to delivering a smooth and confidence-inspiring experience for our clients with every interaction. You are a critical thinker and anticipate subsequent events, with an unwavering ability to solve problems, even with little to no direction. You are a solutions-oriented professional who embraces technology. You love to learn and are always finding ways to improve and expand your impact. You offer proactive service and thrive in doing the little things to make those around you have the best experience possible.

General Responsibilities:

• Greet and welcome clients in a friendly and professional manner in person and over the phone
• Prepare and ensure new account paperwork is successfully submitted, which includes preparing forms, obtaining appropriate signatures, preparing documentation to upload, and coordinating rollovers
• Handle routine matters for client accounts, including processing name and address changes, beneficiary changes, bank authorizations, and answering client questions; provide tax reporting documents to clients
• Track outstanding client service items; proactively address outstanding issues and provide updates
• Create and maintain accurate client records in the CRM system (Redtail), ensuring all confidential and required information is securely stored
• Assist in preparation for client meetings and calls; send out agendas and prepare materials, including client illustrations, graphs, charts, reports, etc.
• Support the financial planning data entry process within eMoney
• Coordinate tax forms, prepare tax review items, and support the tax preparation process as requested
• Process securities and checks received in the office
• Schedule meetings and manage calendars for the advisory team
• Communicate with the broker/dealer, advisory firm and product contacts
• Perform various administrative, client service, tax, and general office management tasks as assigned

Qualifications:

• Bachelor’s degree highly preferred or equivalent work experience
• 3+ years’ experience highly preferred; ideally in B/D or RIA environment supporting a financial advisor; candidates with experience in similar financial services environments, such as accounting, banking, investment operations, or insurance are also encouraged to apply
• Securities industry licensing (Series 6 or Series 7)/designations (FPQP or similar) are a plus, but not required
• Highly organized, with an absolute attention to detail and ability to self manage
• Excellent follow-through and communication regarding status of open items
• Client-first attitude; ability to interact with clients professionally and respond to clients in a timely manner
• Strong time management skills; ability to prioritize and coordinate multiple work assignments and deadlines efficiently despite frequent interruptions
• Excellent interpersonal and communication skills; ability to communicate in a pleasant, tactful, and effective manner (both orally and in writing), and to handle difficult, sensitive issues
• Proficient in Windows/PC environment including Outlook, Excel, Word; ability to learn new technology/computer programs
• Ability to analyze situations, define problems and/or objectives, identify relevant factors, formulate logical conclusions and suggest alternative solutions
• Must be willing and able to complete a background and credit screening as an employee of a FINRA-regulated advisor
• Final job offer is dependent on successful completion and approval by the broker/dealer firm

Compensation: $70K - $85K